this schedule applies to: student achievement council · version 1.0 (june 2017) page 2 of 13...
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Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
Page 1 of 13
This schedule applies to: Student Achievement Council
Scope of records retention schedule This records retention schedule authorizes the destruction/transfer of the public records of the Student Achievement Council relating to the unique functions of providing strategic planning, oversight and advocacy to support student success and higher levels of educational attainment. The schedule is to be used in conjunction with the State Government General Records Retention Schedule (SGGRRS) which authorizes the destruction/transfer of public records common to all state agencies. Disposition of public records Public records covered by records series within this records retention schedule (regardless of format) must be retained for the minimum retention period as specified in this schedule. Washington State Archives strongly recommends the disposition of public records at the end of their minimum retention period for the efficient and effective management of state resources. Public records designation as “Archival” must not be destroyed. Records designated as “Archival (Appraisal Required)” must be appraised by the Washington State Archives before disposition. Public records must not be destroyed if they are subject to ongoing or reasonably anticipated litigation. Such public records must be managed in accordance with the agency’s policies and procedures for legal holds. Public records must not be destroyed if they are subject to an existing public records request in accordance with chapter 42.56 RCW. Such public records must be managed in accordance with the agency’s policies and procedures for public records requests. Revocation of previously issued records retention schedules All previously issued records retention schedules to the Student Achievement Council (and its predecessor agencies, including the former Higher Education Coordinating Board) are revoked. The Student Achievement Council must ensure that the retention and disposition of public records is in accordance with current, approved records retention schedules. Authority This records retention schedule was approved by the State Records Committee in accordance with RCW 40.14.050 on June 14, 2017.
Signature on File ___________________________________________________________________________________________________________________________________________________________
For the State Auditor: Cindy Evans
Signature on File ___________________________________________________________________________________________________________________________________________________________
For the Attorney General: Isaac Williamson
Signature on File ___________________________________________________________________________________________________________________________________________________________
For the Office of Financial Management: Gwen Stamey
Signature on File ___________________________________________________________________________________________________________________________________________________________
The State Archivist: Steve Excell
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
Page 2 of 13
REVISION HISTORY
Version Date of Approval Extent of Revision
1.0 June 14, 2017 Consolidation of all existing disposition authorities (with some minor revisions) relating to the functions and activities of the Student Achievement Council on June 14, 2017.
For assistance and advice in applying this records retention schedule,
please contact the Student Achievement Council’s Records Officer
or Washington State Archives at:
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
Page 3 of 13
TABLE OF CONTENTS
1. FINANCIAL ASSISTANCE ............................................................................................................................................................................ 4
2. HIGHER EDUCATION ADMINISTRATION .................................................................................................................................................... 5 2.1 CLOSED INSTITUTIONS STUDENT RECORDS REPOSITORY................................................................................................................................................ 5 2.2 COMPLAINTS AND INVESTIGATIONS ............................................................................................................................................................................... 6 2.3 DEGREE AUTHORIZATION AND CREDENTIALS ................................................................................................................................................................. 7
GLOSSARY ........................................................................................................................................................................................................... 8
INDEXES ............................................................................................................................................................................................................ 11
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
1. FINANCIAL ASSISTANCE
Page 4 of 13
1. FINANCIAL ASSISTANCE
The functions of administering and coordinating financial aid programs which are not covered by the State Government General Records Retention Schedule.
DISPOSITION AUTHORITY
NUMBER (DAN) DESCRIPTION OF RECORDS
RETENTION AND DISPOSITION ACTION
DESIGNATION
04-07-60720
Rev. 1
Guaranteed Education Tuition (GET) Account Enrollment – Successful
Records relating to the enrollment and establishment of a GET account.
Includes, but is not limited to:
Enrollment forms and account application;
Supporting documentation;
Change and correction requests from purchaser;
Beneficiary documentation;
Letters of acknowledgement/acceptance;
Changes/amendments to terms and conditions.
Excludes records covered by:
Contracts and Agreements (DAN GS 01050);
Financial Transactions—General (DAN GS 01001).
Retain for 6 years after account is determined to be inactive
or
6 years after account expires/withdrawal from participation
then
Destroy.
NON-ARCHIVAL
ESSENTIAL OPR
17-06-69117
Rev. 0
Guaranteed Education Tuition (GET) Account Enrollment – Unsuccessful
Records relating to the unsuccessful or denial of enrollment for a GET account.
Includes, but is not limited to:
Enrollment forms and account application;
Supporting documentation;
Letters of denial.
Retain for 1 year after enrollment denied
then
Destroy.
NON-ARCHIVAL NON-ESSENTIAL
OPR
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
2. HIGHER EDUCATION
ADMINISTRATION Page 5 of 13
2. HIGHER EDUCATION ADMINISTRATION
The function of the authorization and oversight of degree-granting institutions, including consumer complaints, protection of student records, ensuring academic standards and financial ability.
2.1 CLOSED INSTITUTIONS STUDENT RECORDS REPOSITORY The activity of ensuring student records and credits are retained and available for access after institution closure.
DISPOSITION AUTHORITY
NUMBER (DAN) DESCRIPTION OF RECORDS
RETENTION AND DISPOSITION ACTION
DESIGNATION
82-01-29516
Rev. 1
Defunct Institutions – Transfer Credits/Permanent Student Records
Records relating to the administration of individual students transfer credits and/or student transcripts acquired from in-state degree-granting institutions that have closed.
Also includes foreign institutions.
Includes, but is not limited to:
Academic ratings;
Student academic progress;
Student transcripts.
Note: This does not normally apply to any out-of-state based institutions that may have had branches operating in the state, exceptions are made on a case-by-case basis. Contact agency for additional information.
Reference WAC 250-61-160 (2)(d).
Retain permanently. NON-ARCHIVAL
ESSENTIAL OPR
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
2. HIGHER EDUCATION
ADMINISTRATION Page 6 of 13
2.2 COMPLAINTS AND INVESTIGATIONS The activity of safeguarding consumers from fraudulent activities and violations to the Degree-Granting Institutions Act RCW 28B.85.020.
DISPOSITION AUTHORITY
NUMBER (DAN) DESCRIPTION OF RECORDS
RETENTION AND DISPOSITION ACTION
DESIGNATION
17-06-69116
Rev. 0
Complaints and Investigations
Records relating to student complaints received against institutions involving alleged fraud, standards relating to academic quality and financial ability, illegal operations, diploma mills or violations to the Degree-Granting Institutions Act RCW 28B.85.020.
Includes, but is not limited to:
Original complaint and investigation materials; Supporting and/or referral documentation; Resolution of investigation.
Retain for 6 years after referred or investigation completed
then
Destroy.
NON-ARCHIVAL NON-ESSENTIAL
OFM
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
2. HIGHER EDUCATION
ADMINISTRATION Page 7 of 13
2.3 DEGREE AUTHORIZATION AND CREDENTIALS The activity of authorizing an educational institution to operate as a degree-granting institution and meets the minimum state operating standards.
DISPOSITION AUTHORITY
NUMBER (DAN) DESCRIPTION OF RECORDS
RETENTION AND DISPOSITION ACTION
DESIGNATION
93-06-52158
Rev. 3
Degree Authorizations – Initial Request
Records relating to the initial request for institutions seeking authorization or an exemption to offer degree programs.
Includes, but is not limited to:
Initial application packets;
Supporting documentation;
Initial authorization;
Exemption acknowledgment.
Retain for 25 years after authorization withdrawn
or
exemption is withdrawn
then
Destroy.
NON-ARCHIVAL
ESSENTIAL OFM
00-12-59987
Rev. 2
Degree Authorizations – Renewal Applications
Records relating to renewal of authorization by public and out of-state institutions currently authorized to offer degree programs.
Includes, but is not limited to:
Requests to include additional degree programs or additional campus sites;
Supporting documentation;
Renewal authorization.
Note: Authorizations are granted on a 2 year renewal cycle.
Retain for 6 years after renewal of authorization expired/lapsed
then
Destroy.
NON-ARCHIVAL NON-ESSENTIAL
OFM
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
GLOSSARY Page 8 of 13
GLOSSARY
Appraisal The process of determining the value and disposition of records based on their current administrative, legal and fiscal use; their evidential and informational or research value; and their relationship to other records.
Archival (Appraisal Required) Public records which may possess enduring legal and/or historic value and must be appraised by the Washington State Archives on an individual basis.
Public records will be evaluated, sampled and weeded according to archival principles by archivists from Washington State Archives (WSA). Records not selected for retention by WSA may be disposed of after appraisal.
Archival (Permanent Retention) Public records which possess enduring legal and/or historic value and must not be destroyed. State government agencies must transfer these records to Washington State Archives (WSA) at the end of the minimum retention period.
WSA will not sample, weed, or otherwise dispose of records fitting the records series description designated as “Archival (Permanent Retention”) other than the removal of duplicates.
Disposition Actions taken with records when they are no longer required to be retained by the agency.
Possible disposition actions include transfer to Washington State Archives and destruction.
Disposition Authority Number (DAN) Control numbers systematically assigned to records series or records retention schedules when they are approved by the State Records Committee.
Essential Records Public records that state government agencies must have in order to maintain or resume business continuity following a disaster. While the retention requirements for essential records may range from very short-term to archival, these records are necessary for an agency to resume its core functions following a disaster.
Security backups of these public records should be created and may be deposited with Washington State Archives in accordance with Chapter 40.10 RCW.
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
GLOSSARY Page 9 of 13
Non-Archival Public records which do not possess sufficient historic value to be designated as “Archival”. Agencies must retain these records for the minimum retention period specified by the appropriate, current records retention schedule.
Agencies should destroy these records after their minimum retention period expires, provided that the records are not required for litigation, public records requests, or other purposes required by law.
Non-Essential Records Public records which are not required in order for an agency to resume its core functions following a disaster, as described in Chapter 40.10 RCW.
OFM (Office Files and Memoranda) Public records which have been designated as “Office Files and Memoranda” for the purposes of RCW 40.14.010.
RCW 40.14.010 – Definition and classification of public records.
(2) “Office files and memoranda include such records as correspondence, exhibits, drawings, maps, completed forms, or documents not above defined and classified as official public records; duplicate copies of official public records filed with any agency of the state of Washington; documents and reports made for the internal administration of the office to which they pertain but not required by law to be filed or kept with such agency; and other documents or records as determined by the records committee to be office files and memoranda.”
OPR (Official Public Records Public records which have been designated as “Official Public Records” for the purposes of RCW 40.14.010.
RCW 40.14.010 – Definition and classification of public records.
(1) “Official public records shall include all original vouchers, receipts, and other documents necessary to isolate and prove the validity of every transaction relating to the receipt, use, and disposition of all public property and public income from all sources whatsoever; all agreements and contracts to which the state of Washington or any agency thereof may be a party; all fidelity, surety, and performance bonds; all claims filed against the state of Washington or any agency thereof; all records or documents required by law to be filed with or kept by any agency of the state of Washington; … and all other documents or records determined by the records committee… to be official public records.”
Public Records RCW 40.14.010 – Definition and classification of public records.
“… The term "public records" shall include any paper, correspondence, completed form, bound record book, photograph, film, sound recording, map drawing, machine-readable material, compact disc meeting current industry ISO specifications, or other document, regardless of physical form or characteristics, and
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
GLOSSARY Page 10 of 13
including such copies thereof, that have been made by or received by any agency of the state of Washington in connection with the transaction of public business…”
Records Series A group of records, performing a specific function, which is used as a unit, filed as a unit, and may be transferred or destroyed as a unit. A records series may consist of a single type of form or a number of different types of documents that are filed together to document a specific function.
State Records Committee The committee established by RCW 40.14.050 to review and approve disposition of state government records.
Its four members include the State Archivist and one representative each from the Office of the Attorney General, Office of the State Auditor, and the Office of Financial Management.
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
INDEX TO: ARCHIVAL/
ESSENTIAL/DANS Page 11 of 13
INDEXES
ARCHIVAL RECORDS INDEX
See the State Government General Records Retention Schedule for “Archival” records.
ESSENTIAL RECORDS INDEX
See the State Government General Records Retention Schedule for additional “Essential” records.
FINANCIAL AID Guaranteed Education Tuition (GET) Account Enrollment – Successful ................ 4
HIGHER EDUCATION ADMINISTRATION Closed Institutions Student Records Repository
Defunct Institutions – Transfer Credits/Permanent Student Records ............... 5 Degree Authorization and Credentials
Degree Authorizations Initial Request ............................................................... 7
DISPOSITION AUTHORITY NUMBERS (DAN’S) INDEX
00-12-59987 ..................................... 7 04-07-60720 ..................................... 4
17-06-69116 ..................................... 6 17-06-69117 ..................................... 4
82-01-29516 ..................................... 5 93-06-52158 ..................................... 7
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
INDEX TO: SUBJECTS Page 12 of 13
SUBJECT INDEX
Note: The use in this index of SGGRRS refers to the State Government General Records Retention Schedule.
A
audits ....................................................... see SGGRRS
B
backups .................................................... see SGGRRS bids (contracts) ................................. see also SGGRRS bills (legislation) ....................................... see SGGRRS budgets .................................................... see SGGRRS
C
complaints................................................ see SGGRRS complaints and investigations .................................. 6 contracts ........................................... see also SGGRRS
D
defunct institutions – transfer credits/permanent student records .................................................... 5
degree authorizations – initial request ..................... 7 degree authorizations – renewal applications .......... 7
F
facilities ............................................. see also SGGRRS financial reports ................................ see also SGGRRS fleet ................................................... see also SGGRRS
G
grants ................................................ see also SGGRRS grievances ................................................ see SGGRRS guaranteed education tuition (GET) account
enrollment – successful ........................................ 4 guaranteed education tuition (GET) account
enrollment – unsuccessful .................................... 4
H
human resources ..................................... see SGGRRS
I
information systems ................................ see SGGRRS investigations ............................................................ 6
L
leases ................................................ see also SGGRRS leave ......................................................... see SGGRRS
M
meetings .................................................. see SGGRRS motor vehicles .................................. see also SGGRRS
P
payroll ............................................... see also SGGRRS personnel ................................................. see SGGRRS planning ............................................ see also SGGRRS plans (drawings) ................................ see also SGGRRS policies .............................................. see also SGGRRS procedures ............................................... see SGGRRS public disclosure ...................................... see SGGRRS public records requests ............................ see SGGRRS purchasing ......................................... see also SGGRRS
Student Achievement Council Records Retention Schedule
Version 1.0 (June 2017)
INDEX TO: SUBJECTS Page 13 of 13
R
records management ............................... see SGGRRS
T
timesheets ............................................... see SGGRRS tort claims ......................................... see also SGGRRS training .............................................. see also SGGRRS
travel ........................................................ see SGGRRS
V
vehicles ............................................. see also SGGRRS